, accepting listing and delisting and supervising securities businesses by approving rules issued by the Bank of Thailand, issuing and revoking licenses for securities business undertaking. Meanwhile, the Bank
procedures set out by the AIMC. (4) In the case of transferring units among the RMFs, the mutual fund management companies must complete the transactions within five business days from the date of accepting
procedures set out by the AIMC. (4) In the case of transferring units among the RMFs, the mutual fund management companies must complete the transactions within five business days from the date of accepting
reputations, divided into two areas as follows: Staff Code of Ethics consists of guidelines for handling conflicts of interest, for example, prohibiting staff from trading stocks or accepting assets or
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
limitation period of the civil cases which may be requested for a Class Action in order to deal with the offence or liability under the Securities and Exchange Act B.E. 2535 (1992) and amended versions (“the
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the